RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
M•••••• J•• K••••••
- W•••• F•••• A••••••• wirehouse currentsince Jun 10, 2019 · Woodbury, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 25, 2014 to Jun 17, 2019 · Palm Beach Gardens, Fl
- C••••• S••••• S••••••••• •••• L•• formerApr 7, 2009 to Apr 21, 2014 · West Palm Beach, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Apr 15, 2009 · West Palm Beach, Fl
- C••••••• I••••••••• S••••••• unclassifiedJun 17, 2003 to May 29, 2007 · Palm Beach, Fl
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Jun 17, 2019, registered Jun 10, 2019 (-7 days) · Wirehouse to wirehouse · moved with a team
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Apr 21, 2014, registered Mar 25, 2014 (-27 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••• S••••• S••••••••• •••• L••left Apr 15, 2009, registered Apr 7, 2009 (-8 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address